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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-09-27 |
Branch Locations
4707 Executive Dr, San Diego, CA 92121-3091 • United States
445 Broadhollow Rd. Ste 120, Melville, NY 11747 • United States
445 Broadhollow Rd. Ste 120, Melville, NY 11747 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nl Financial Alliance/National Life Insurance Company | Jericho | NY | 08/2011 | 11/2019 |
| Equity Services, Inc. | Montpelier | VT | 07/2014 | 11/2019 |
| American Portfolios Financial Services, Inc. | Melville | NY | 11/2019 | 09/2023 |
| American Portfolios Advisors, Inc. | Melville | NY | 11/2019 | 09/2023 |
| Lpl Financial | Melville | NY | 09/2023 | Present |
1)08/07/2023 - Professional Wealth Associates - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 02/2003 - 160 Hr/Mth 2)08/07/2023 - Professional Wealth Associates - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) - Start: 02/2003 - 2 Hr/ 3)08/07/2023 - PWA Inc. - Business Entity For Tax/Investment Purposes Only - Non-Inv Rel - At Reported Business Location(s) - Start: 02/2003 - 240 Hr/Mth
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1989-08-10 |
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